The employee stock option prospectus explains the stock option plan to the employees. It addresses the employee's right to exercise the option of buying common stock in the company, along with explaining the obligations of the employee where taxes and capital gains are concerned.
South Carolina Employee Stock Option Prospectus
Category:
State:
Multi-State
Control #:
US-TC0914
Format:
Word;
PDF;
Rich Text
Instant download
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How to fill out Employee Stock Option Prospectus?
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FAQ
(c) ?Agent? means any individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect purchases or sales of securities.
This section exempts offers and sales of securities (including plan interests and guarantees pursuant to paragraph (d)(2)(ii) of this section) under a written compensatory benefit plan (or written compensation contract) established by the issuer, its parents, its majority-owned subsidiaries or majority-owned ...
Under the Uniform Securities Act, a "broker-dealer" is defined as a person that engages in the business of effecting securities transactions for the account of others; or a person that engages in the trading of securities for its own account.
The best answer is C. Under the Uniform Securities Act, a "broker-dealer" is defined as a person that engages in the business of effecting securities transactions for the account of others; or a person that engages in the trading of securities for its own account.
dealer (BD) is a person or firm in the business of buying and selling securities for its own account or on behalf of its customers. The term brokerdealer is used in U.S. securities regulation parlance to describe stock brokerages because most of them act as both agents and principals.
Which of the following meets the USA's definition of a broker-dealer? *A person buying and selling securities for customers' accounts is deemed a broker-dealer under the Uniform Securities Act. Specifically excluded from the definition of a broker-dealer are banks, trust companies, and savings and loan associations.
Under the Uniform Securities Act, a "broker-dealer" is defined as a person that engages in the business of effecting securities transactions for the account of others; or a person that engages in the trading of securities for its own account. Thus, Choice I and Choice II are correct.